2022-09-02T11:42:36-05:00 2020-12-31 363168081 SIKICH LLP 12655 OLIVE BLVD SUITE 200 ST LOUIS MO 63141 990 2020-01-01 946114214 AMERICAN ASSOCIATION OF BIOANALYSTS AMER 3142411445 906 OLIVE STREET SUITE 1200 ST LOUIS MO 631011434 DR MARK S BIRENBAUM PHD ASSOCIATION MANGER 3142411445 2022-09-01 1 DR MARK S BIRENBAUM PHD 999009999 ROBERT B OFFERMAN CPA P00035353 3142757277 2022-09-01 3 AAL1 IAL1 2020 2022-09-23 18:48:47Z BONNY LEWIS VAN PHD HC 906 OLIVE STREET SUITE 1200 ST LOUIS MO 631011434 4552821 0 X WWW.AAB.ORG X 1956 CA TO PROMOTE EXCELLENCE IN CLINICAL LABORATORY SERVICES BY EDUCATING THE PUBLIC. 16 14 10 14 0 0 95223 25117 4665259 4354388 115283 54941 6867 6262 4882632 4440708 12767 9750 0 0 0 1332192 0 0 0 4779280 3146910 4792047 4488852 90585 -48144 2152958 3908247 643944 2324387 1509014 1583860 X THE ORGANIZATION IS COMMITTED TO THE PURSUIT OF EXCELLENCE IN CLINICAL LABORATORY SERVICES BY ENHANCING THE PROFESSIONAL SKILLS OF EACH OF ITS MEMBERS; PROMOTING MORE EFFICIENT AND PRODUCTIVE OPERATIONS; OFFERING EXTERNAL QUALITY CONTROL PROGRAMS; COLLABORATING WITH OTHER PROFESSIONAL ASSOCIATIONS AND GOVERNMENTAL AGENCIES; PROMOTING SAFE LABORATORY PRACTICES; AND EDUCATING LEGISLATORS, REGULATORS, AND THE GENERAL PUBLIC ABOUT CLINICAL LABORATORY TESTS AND PROCEDURES. 0 0 PRODUCTION AND DISSEMINATION OF EDUCATIONAL MATERIALS, MAINTENANCE OF PROFESSIONAL COMPENTENCY OF MEMBERS, AND PROVIDING A FORUM FOR THE EXCHANGE OF INFORMATION AND KNOWLEDGE 0 1 1 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 1 0 0 0 0 0 1 0 0 0 0 0 1 0 0 1 20 0 10 1 0 0 0 0 0 0 0 0 X 16 14 0 1 0 0 1 1 1 1 1 0 1 1 0 0 0 0 0 0 0 CA X BIRENBAUM & ASSOCIATES 3142411445 906 OLIVE ST SUITE 1200 ST LOUIS MO 631011434 NICHOLAS T SERAFY JR PTS CHAIR 40.00 X 292243 0 20798 JOSEPH CONAGHAN PHD HCLDELD THIRD VP 1.00 X X 1763 0 0 DAVID L SMALLEY PHD PRESIDENT 1.00 X X 0 0 0 ANNETTE IACONO FIRST VP 1.00 X X 0 0 0 HEATHER FEHLING PHD HCLD SECOND VP 1.00 X X 0 0 0 JUDY KENNEDY SECRETARY/TREAS 1.00 X X 0 0 0 BARBARA K TIMM MSC ELDTS MANAGER REP 1.00 X 0 0 0 PAT LANZA CHAIR - NILA 1.00 X 0 0 0 JOHN J WEISS PHD REG ADM SECR 1.00 X 0 0 0 SUSAN M TARCHALA MSC TS SUPERVISOR REP 1.00 X 0 0 0 ZAHRA KASHI PHD HCLD REG ADM SECR 1.00 X 0 0 0 PIERRE CASSIGNEUL REG ADM SECR 1.00 X 0 0 0 T ARTHUR CHANG PHD HCLDELD CRB PRESIDENT 1.00 X 0 0 0 RICHARD R JONES MT AMS LIAISON REP 1.00 X 0 0 0 BONNY LEWIS VAN PHD HCLD REG ADM SECR 1.00 X 0 0 0 SHARON MASSINGALE PHD HCLD CHAIR - EBPH 1.00 X 0 0 0 MARK BIRENBAUM ASSOCIATION MANAGER 40.00 X 0 0 0 WARREN E VANDERSLICE TECH DIR - PTS 40.00 X 292243 0 8767 KEN R SCHILL SALES DIR - PTS 40.00 X 127038 0 3829 JOSEPH A DUENAS ASST TECH DIR - PTS 40.00 X 105647 0 3208 818934 0 36602 4 0 1 1 BIRENBAUM & ASSOCIATES 906 OLIVE STREET SUITE 1200 ST LOUIS MO 63101 MANAGEMENT COMPANY 734702 CAVAROCCHI RUSCIO DENNIS & ASSOCIATES 600 MARYLAND AVE SW STE 835W WASHINGTON DC 20024 GOVERNMENT RELATIONS 303600 PTS INC 205 WEST LEVEE BROWNSVILLE TX 785205596 PROFICENCY TEST ASSEMBLY AND DISTRIBUTIO 167370 3 25117 25117 PROFICIENCY TESTING SV 541380 3161148 3161148 MEMBERSHIP DUES & ASSE 541900 741820 741820 CE MATERIALS & MANUALS 541900 235888 235888 CONVENTIONS & SEMINARS 541900 114462 114462 CERTIFICATION/EXAM FEE 541900 101070 101070 4354388 23416 23416 2888 2888 143638 112113 31525 31525 31525 MISCELLANEOUS INCOME 541900 2529 2529 REBATES 541900 845 845 3374 4440708 4357762 0 57829 9750 615814 633169 11926 9602 61681 734702 143502 27208 80500 456540 123435 68855 26257 354 8656 PROFICIENCY TESTING SVC 1004181 GOVERNMENT RELATIONS 285754 EXAMINATION DEVEL/ ADMI 55419 CONTINUING EDUCATION 47573 83974 4488852 87251 969419 859869 858538 2829 25136 29543 964762 5063 354 0 4709 1167780 1080435 5686 5248 2152958 3908247 123956 870293 519988 1454094 643944 2324387 X 1409608 1558222 99406 25638 1509014 1583860 2152958 3908247 X -48144 104970 18020 0 X X 0 0 1 0 RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 1 0 0 0 741820 297240 297240 370910 -73670 PART I-A, LINE 1: IN 1991, THE ORGANIZATION FORMED A POLITICAL ACTION COMMITTEE (PAC), TO CARRY OUT THE LOBBYING ACTIVITIES THAT ARE IN THE ORGANIZATION'S BEST INTEREST. THE PAC RECEIVES CONTRIBUTIONS AND MAKES POLITICAL DONATIONS. THEIR RECORDS AND FUNDS ARE SEPARATE FROM THE ORGANIZATION. THE PAC FILES AN 1120-POL EACH YEAR. 5063 354 4709 4709 1 SCHOLARSHIPS 7 9750 CASH VALUE PART I, LINE 2: SCHOLARSHIP AWARDS FROM THE DAVID BIRENBAUM SCHOLARSHIP FUND ARE MADE AVAILABLE TO CURRENT AAB REGULAR MEMBERS AND TO CURRENT REGISTRANT OR REGULAR CLASS MEMBERS OF THE AAB ASSOCIATE MEMBER SECTION, THEIR SPOUSES, AND THEIR DEPENDENTS THROUGH THE GENEROSITY OF FELLOW MEMBERS, INTERESTED INDIVIDUALS, INDUSTRY, AND EDUCATIONAL INSTITUTIONS. THESE AWARDS MAY BE APPLIED TOWARD STUDY IN ANY ACADEMIC DISCIPLINE. THESE SCHOLARSHIP AWARDS ARE GIFTS TO BE APPLIED TOWARD THE COST OF TUITION. THEY PLACE NO OBLIGATION ON THE RECIPIENTS OTHER THAN THAT THEY DO THE BEST POSSIBLE WORK AS STUDENTS. IT IS IN THE SPIRIT OF SUCH GIFTS THAT RECIPIENTS ARE NOT OBLIGATED TO REPAY ANY MONEY TO AAB, BUT IT IS HOPED THAT THEY, TOO, WILL HELP OTHERS TO OBTAIN AN EDUCATION WHEN THEY BECOME SUCCESSFUL IN THE FIELD OF THEIR CHOICE. 0 0 0 NICHOLAS T SERAFY JR PTS CHAIR 292243 0 0 0 0 0 0 0 20798 0 313041 0 0 0 WARREN E VANDERSLICE TECH DIR - PTS 292243 0 0 0 0 0 8767 0 0 0 301010 0 0 0 MARK BIRENBAUM ASSOCIATION MANAGER 0 0 0 0 0 0 0 0 0 0 0 0 PART II, LINE 3 MARK BIRENBAUM IS CONSIDERED THE ASSOCIATION'S MANAGER. HE IS ALSO THE PRESIDENT OF THE MANAGEMENT COMPANY UTILIZED BY THE ASSOCIATION. MANAGEMENT COMPANY FEES FOR THE YEAR WERE $734,702, A PORTION OF WHICH IS CONSIDERED MARK BIRENBAUM'S COMPENSATION. THE MANAGEMENT FEES ALSO INCLUDE REIMBURSEMENT OF COSTS FOR FACILITIES AND PARKING, RENTS, UTILITIES, TELEPHONE AND INTERNET SERVICES, MANAGEMENT AND ADMINISTRATIVE STAFF COMPENSATION, PAYROLL TAXES AND BENEFITS, OFFICE FURNITURE AND EQUIPMENT, PROPERTY AND WORKERS COMP INSURANCE. MARK BIRENBAUM ASSOCIATION MANAGER 734702 MANAGEMENT FEE 0 CLAYTON A SERAFY SON OF PTS CHAIR 60176 CLAYTON IS EMPLOYED AS THE SPECIAL PROJECTS OF PROFIENCY TESTING 0 NICHOLAS T SERAFY JR PTS CHAIR 167370 NICHOLAS T. SERAFY JR. OWNS PTS, INC. WHICH PROVIDES PROFICENCY TEST KIT ASSEMBLY AND DISTRIBUTION. PTS, INC. 0 NICHOLAS T SERAFY JR PTS CHAIR 1233981 NICHOLAS T. SERAFY JR. OWNS NEVESTA, INC WHICH LEASES STAFF, (INCLUDING BENEFITS) TO THE AMERICAN ASSOCIATION OF BIOANALYSTS. 0 PART IV, LINE 1 MARK BIRENBAUM IS CONSIDERED THE ASSOCIATION'S MANAGER, HE IS ALSO THE PRESIDENT OF THE MANAGEMENT COMPANY UTILIZED BY THE ASSOCIATION. MANAGEMENT COMPANY FEES FOR THE YEAR WERE $734,702. THE MANAGEMENT FEES INCLUDE REIMBURSEMENT OF COSTS FOR; FACILITIES AND PARKING RENTS, UTILITIES, TELEPHONE AND INTERNET SERVICES, MANAGEMENT AND ADMINISTRATIVE STAFF COMPENSATION, PAYROLL TAXES AND BENEFITS, OFFICE FURNITURE AND EQUIPMENT, PROPERTY AND WORKERS COMP INSURANCE. FORM 990, PART VI, SECTION A, LINE 3 THE MANAGEMENT COMPANY, BIRENBAUM & ASSOCIATES, PROVIDES THE BASIC PERSONNEL, FACILITIES, AND ADMINISTRATIVE SERVICES TO CARRY ON THE AFFAIRS OF THE ORGANIZATION, INCLUDING RECORD KEEPING, COMMUNICATIONS, BANKING, THE ANNUAL CONFERENCE ARRANGEMENTS, AND OTHER BASIC FUNCTIONS NECESSARY TO CARRY ON THE DAY-TO-DAY ACTIVITIES OF THE ORGANIZATION. FORM 990, PART VI, SECTION A, LINE 6 THE ORGANIZATION IS COMPRISED OF SEVERAL MEMBER ORGANIZATIONS, EACH WITH THEIR OWN GOVERNING BODIES AND MEMBERS. OPERATIONS OF ALL ORGANIZATIONS ARE GOVERNED BY THE RESPECTIVE ORGANIZATION'S BYLAWS. MEMBERS OF THE ORGANIZATIONS ELECT THEIR GOVERNING BODIES. DIFFERENT CATEGORIES OF MEMBERSHIP EXIST WITHIN THE MAIN CATEGORIES OF INDIVIDUAL AND CORPORATE. INDIVIDUAL MEMBERSHIP IS COMPRISED OF REGULAR, SPECIAL, ASSOCIATE, STUDENT, AND AFFILIATE MEMBERS AND CORPORATE MEMBERSHIP IS COMPRISED OF LABORATORY (ENTITIES THAT PROVIDE CLINICAL OR BIOANALYTICAL LABORATORY SERVICES AND THAT HAVE GROSS REVENUES LESS THAN $2 BILLION AND WHOSE APPLICATION HAS BEEN APPROVED BY THE BOARD ARE ALLOWED TO HAVE TWO REGULAR INDIVIDUAL MEMBERS WHO MUST BE EXECUTIVE OFFICERS OF THE MEMBER LABORATORY) AND SUSTAINING MEMBERSHIP (ENTITIES THAT MANUFACTURE, PRODUCE, DISTRIBUTE, SELL, OR LEASE PRODUCT, SUPPLIES, EQUIPMENT, OR SERVICES TO LABORATORIES, AND THAT EVIDENCE A SERIOUS INTEREST IN THE ACTIVITIES OF THE ORGANIZATION). INDIVIDUAL MEMBERS MUST BE ONE OF THE FOLLOWING: (1) DIRECTORS - LICENSED, QUALIFIED DIRECTOR OF A CLINICAL, BIOANALYTICAL, OR ENVIRONMENTAL LABORATORY; (2) OWNER MEMBERS - PERSONS HAVING 10% OR MORE OWNERSHIP SHARE OR FINANCIAL INTEREST IN A CLINICAL OR BIOANALYTICAL LABORATORY OR THE PARENT COMPANY OF A CLINICAL OR BIOANALYTICAL LABORATORY; (3) EXECUTIVE OFFICERS - INDIVIDUALS WHO ARE EXECUTIVE OFFICERS OF A CLINICAL OR BIOANALYTICAL LABORATORY THAT IS A MEMBER OF THE NILA SECTION OF THE ORGANIZATION; (4) MANAGERS - PERSONS HAVING LESS THAN 10% OWNERSHIP SHARE OR FINANCIAL INTEREST IN A LABORATORY OR PARENT COMPANY OF A LABORATORY, WHO DOES NOT QUALIFY AS A DIRECTOR, CONSULTANT, OR SUPERVISOR UNDER 1988 CLIA (CLINICAL LABORATORY IMPROVEMENT AMENDMENTS) REGULATIONS; (5) SUPERVISORS - INDIVIDUAL WHO IS QUALIFIED AS A LABORATORY SUPERVISOR UNDER THE CLIA 1988 REGULATIONS OR INDIVIDUAL WHO IS CERTIFIED AS A SUPERVISOR BY THE AMERICAN BOARD OF BIOANALYSIS OR ANOTHER NATIONAL CERTIFYING AGENCY; (6) FACULTY MEMBERS - DIRECTORS, MANAGERS, AND SUPERVISORS WHO ARE FULL-TIME UNIVERSITY FACULTY MEMBERS WITH TEACHING RESPONSIBILITIES IN THE BIOANALYTICAL SCIENCES; (7) ARMED FORCES - DIRECTORS, MANAGERS, AND SUPERVISORS WHO ARE FULL-TIME ACTIVE-DUTY MEMBERS OF THE US ARMED FORCES; AND (8) SPECIAL MEMBERS - AS DEFINED BY ONE OF THE FOLLOWING CATEGORIES: (A) EMERITUS MEMBER - REGULAR MEMBER WHO IS NO LONGER ACTIVELY ENGAGED IN PROFESSIONAL OR BUSINESS ENDEAVORS AND WHO HAS BEEN A REGULAR MEMBER FOR 10 OR MORE YEARS; (B) HONORARY MEMBER - INDIVIDUAL WHOSE ACHIEVEMENTS ENTITLE HIM/HER TO SPECIAL RECOGNITION BY THE ORGANIZATION MAY BE NOMINATED FOR ELECTION AS AN HONORARY MEMBER; (C) INACTIVE MEMBER - REGULAR MEMBER WHO HAS LEFT THE FIELD OF BIOANALYSIS FOR ANOTHER FIELD OF ENDEAVOR, BUT WHO WISHES TO RETAIN AFFILIATION WITH THE ORGANIZATION; (D) LIFE MEMBER - REGULAR MEMBER WHOSE CONTRIBUTIONS TO THE ORGANIZATION MERIT RECOGNITION BY THE AWARD OF A LIFETIME MEMBERSHIP; AND (E) SUPPORTING MEMBER - INDIVIDUAL EVIDENCING A SERIOUS INTEREST IN THE ACTIVITIES OF THE ORGANIZATION. FORM 990, PART VI, SECTION A, LINE 7A THE ORGANIZATION HAS A NOMINATING COMMITTEE MADE UP OF RECENT AND CURRENT BOARD MEMBERS. THE COMMITTEE SUBMITS A LIST OF QUALIFIED CANDIDATES FOR BOARD APPROVAL. INTERESTED CANDIDATES IN GOOD STANDING WITH THE ORGANIZATION ARE ALLOWED TO BE PART OF THE ELECTION. CURRENT ORGANIZATION MEMBERS ARE ALLOWED TO VOTE IN THE SCHEDULED ELECTIONS. ELECTION TERMS ARE OUTLINED IN THE ORGANIZATION'S BYLAWS. FORM 990, PART VI, SECTION A, LINE 7B EACH SECTION OF THE ORGANIZATION HAS AT LEAST ONE BOARD MEETING DURING THE YEAR AT WHICH TIME, ELECTIONS ARE HELD, MOTIONS ARE PASSED, AND BYLAWS RATIFIED, IF NECESSARY AND APPROVED BY THE BOARD. REGULATIONS FOR HOLDING BOARD MEETINGS ARE OUTLINED IN THE ORGANIZATION'S BYLAWS. BOARD MEETING MINUTES ARE TAKEN AND RETAINED BY THE ORGANIZATION AND APPROVED AT THE NEXT BOARD MEETING. COMMITTEES MEET AS NECESSARY TO FULFILL THEIR OBJECTIVE THROUGHOUT THE YEAR. FORM 990, PART VI, SECTION B, LINE 11B FORM 990 IS PREPARED BY THE CERTIFIED PUBLIC ACCOUNTING FIRM THAT PREPARES THE ANNUAL FINANCIAL REPORTS FOR THE ORGANIZATION. THE FORM IS THEN PROVIDED TO THE MANAGER AND BOOKKEEPER FOR THE MANAGEMENT COMPANY, BIRENBAUM & ASSOCIATES, FOR REVIEW. THE BOOKKEEPER AND MANAGER REVIEW THE RETURN AND COMPARE IT TO THE PREPARED FINANCIAL STATEMENTS THAT WERE PRESENTED TO AND APPROVED BY THE BOARD AT THE ANNUAL BOARD MEETINGS AND ANY OTHER SUPPORTING DOCUMENTATION. THE MANAGER SUGGESTS ANY CHANGES OR OBTAINS ANY NECESSARY EXPLANATIONS. THE RETURN IS THEN SIGNED AND THE RETURN IS THEN ELECTRONICALLY SUBMITTED TO THE IRS. COPIES OF THE RETURN ARE MAINTAINED AT BIRENBAUM & ASSOCIATES. FORM 990, PART VI, SECTION C, LINE 19 UPON REQUEST, A COPY OF THE ORGANIZATION'S TAX RETURN (FORM 990) WILL BE MADE AVAILABLE FOR INSPECTION FOR A PERIOD OF THREE YEARS FROM THE DATE THE RETURN IS REQUIRED TO BE FILED. FORM 990, PART XII, LINE 2: A COMPILATION OF THE FINANCIAL STATEMENTS IS IN PROCESS BUT HAVE NOT BEEN FINALIZED AT THE TIME OF FILING. FINANCIAL STATEMENTS ARE REVIEWED BY ASSOCIATION'S MANAGER AND CFO, THEN REVIEWED WITH FULL BOARD. PART XI, LINE 9 PRIOR TO JANUARY 1, 2020, THE ORGANIZATION'S CLINICAL LABORATORY PROFICIENCY TESTING PROGRAM WAS MANAGED BY A THIRD-PARTY PROVIDER, PROFICIENCY TESTING SERVICES, INC. DUE TO PROPOSED AMENDMENTS TO U.S. HHS CLIA REGULATIONS, THE PROGRAM WAS RESTRUCTURED. WITH THIS CHANGE THE ORGANIZATION ASSUMED ASSETS AND LIABILITIES FROM THE PRIOR MANAGEMENT COMPANY, EACH QUANTIFIED AT $2,413,289 AMERICAN BOARD OF BIOANALYSIS 906 OLIVE STREET 1200 ST LOUIS MO 631011434 237110975 PROFESSIONAL CERTIFICATION & IMPROVEMENT MO 501(C)(6) 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 THE ORGANIZATION'S FORM 990 WAS INADVERTENTLY LATE FILED DUE TO AN ADMINISTRATIVE DELAY IN COMPILING ACCURATE FINANCIAL DATA. THIS ORGANIZATION HAS HISTORICALLY FILED TIMELY AND WILL FILE TIMELY IN THE FUTURE. AS PROVIDED UNDER IRC SECTION 6652(C)(4), NO PENALTY SHOULD BE IMPOSED FOR LATE FILING IF THE TAXPAYER CAN DEMONSTRATE REASONABLE CAUSE AS TO HOW THE LATE FILING OCCURRED. THE ABOVE CIRCUMSTANCES DEMONSTRATE REASONABLE CAUSE.